Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GU, KE
Chinese Name of Relevant Individual
顧科
HKMA Registration Number
AF7103
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Aug 2012 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 Aug 2012 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
31 Aug 2012 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
GU, KE
:
Chinese Name of Relevant Individual
顧科
:
HKMA Registration Number
AF7103
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7103
UBS AG
Type 1: dealing in securities
31 Aug 2012 - 18 Jan 2019
No
AF7103
UBS AG
Type 4: advising on securities
31 Aug 2012 - 18 Jan 2019
No
AF7103
UBS AG
Type 6: advising on corporate finance
31 Aug 2012 - 18 Jan 2019
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.